Securities and Compliance Attorney Job Description [Updated for 2025]

In the era of strict financial regulations, the role of a Securities and Compliance Attorney is more crucial than ever.

As the financial industry evolves, the demand for legal experts who can navigate, reinforce, and protect our financial regulations increases.

But let’s delve deeper: What’s truly expected from a Securities and Compliance Attorney?

Whether you are:

• A job seeker trying to understand the core responsibilities of this role,
• A hiring manager crafting the profile of the ideal candidate,
• Or just intrigued by the intricacies of securities and compliance law,

You’re in the right place.

Today, we present a customizable Securities and Compliance Attorney job description template, designed for easy posting on job boards or career sites.

Let’s dive right into it.

Securities and Compliance Attorney Duties and Responsibilities

Securities and Compliance Attorneys manage legal aspects of financial transactions and ensure compliance with federal and state regulations pertaining to securities.

They help companies navigate complex legal environments, particularly in the financial sector.

Their primary duties and responsibilities include:

• Analyzing and ensuring compliance with federal, state, and international laws related to securities
• Providing legal advice to corporations about issuing stocks, bonds, and other types of securities
• Reviewing and drafting documents related to securities offerings and transactions
• Conducting internal audits and investigations to ensure compliance
• Advising on legal risks and potential liabilities in securities offerings
• Assisting with shareholder communications and disclosures
• Representing corporations in legal proceedings involving securities law, such as SEC investigations
• Staying updated on changes in securities laws and regulations and implementing changes to compliance programs accordingly
• Collaborating with other attorneys and professionals to ensure proper compliance with all regulations
• Training and educating company staff about securities regulations and compliance requirements

 

Securities and Compliance Attorney Job Description Template

Job Brief

We are seeking a skilled Securities and Compliance Attorney to join our team.

The successful candidate will be responsible for providing legal advice on securities, regulatory and compliance matters, preparing necessary legal documentation, and advising on relevant laws and regulations.

Our ideal candidate has experience in securities law and regulations, corporate compliance, and is adept at interpreting complex financial laws and regulations.

The role of the Securities and Compliance Attorney is to ensure the organization is in compliance with applicable securities laws and regulations, manage risk, and contribute to the overall legal strategy of the organization.

 

Responsibilities

• Provide advice on securities, regulatory and compliance matters
• Prepare and review legal documents such as contracts, agreements, and disclosure documents
• Interpret laws, rulings, and regulations for corporations
• Conduct internal audits to ensure compliance with securities laws and regulations
• Work with various teams to ensure compliance with regulatory requirements
• Identify and mitigate legal risks and exposures
• Develop and implement compliance programs and policies
• Train staff on regulatory changes and compliance requirements

 

Qualifications

• J.D. degree from an accredited law school
• Admitted to practice law in the state
• Proven experience as a Securities and Compliance Attorney
• Experience in corporate law and regulatory compliance
• Knowledge of securities law and regulations
• Excellent negotiation, research, and communication skills
• Ability to work independently and as part of a team
• High ethical standards and professional integrity

 

Benefits

• 401(k)
• Health insurance
• Dental insurance
• Retirement plan
• Paid time off
• Professional development opportunities

 

Additional Information

• Job Title: Securities and Compliance Attorney
• Work Environment: Primarily office setting with options for remote work. Some travel may be required for meetings or client consultations.
• Reporting Structure: Reports to the General Counsel or Legal Director.
• Salary: Salary is based upon candidate experience and qualifications, as well as market and business considerations.
• Pay Range: $110,000 minimum to $200,000 maximum
• Location: [City, State] (specify the location or indicate if remote)
• Employment Type: Full-time
• Equal Opportunity Statement: We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
• Application Instructions: Please submit your resume, a cover letter outlining your qualifications and experience, and a copy of your state bar license to [email address or application portal].

 

What Does a Securities and Compliance Attorney Do?

Securities and Compliance Attorneys are legal professionals who specialize in the field of securities law and regulatory compliance.

They typically work for law firms, corporations, financial institutions or government agencies.

Their primary role is to ensure that their clients adhere to all applicable laws and regulations related to securities transactions and business operations.

This includes advising on transactions such as initial public offerings (IPOs), mergers and acquisitions, private equity deals, and other major corporate transactions.

Securities and Compliance Attorneys review financial reports, contracts, and other legal documents to ensure compliance with securities laws and regulations.

They also advise clients on the legal aspects of financial offerings and help them prepare necessary disclosure documents.

They conduct thorough investigations to identify potential risks and legal issues, and devise strategies to mitigate these risks.

They also represent their clients in legal proceedings involving securities law violations.

Furthermore, they provide training and education to their clients on regulatory compliance, helping them understand their obligations under the law.

They also monitor changes in securities laws and regulations to stay updated and ensure their clients’ continued compliance.

In case of regulatory inquiries or investigations, Securities and Compliance Attorneys represent their clients, negotiate with regulatory authorities, and if necessary, help their clients respond to regulatory enforcement actions.

 

Securities and Compliance Attorney Qualifications and Skills

A proficient Securities and Compliance Attorney should have the skills and qualifications that align with your job description, such as:

• Knowledge of federal securities laws, regulations, and rules to effectively guide clients
• Strong analytical skills to interpret laws, rulings, and regulations and to provide effective legal advice
• Excellent negotiation and diplomacy skills to reconcile different viewpoints and achieve agreement between parties
• Interpersonal skills to build strong relationships with clients and other legal professionals, maintaining client trust and confidence
• Strong written and oral communication skills to articulate complex legal concepts in a clear and understandable manner to clients, courts, and other professionals
• Problem-solving skills to identify and provide solutions to complex legal issues
• Detail-oriented with strong organizational skills to manage multiple projects and clients simultaneously
• Ability to conduct thorough and precise legal research
• Experience in drafting, reviewing, and negotiating legal documents and compliance policies

 

Securities and Compliance Attorney Experience Requirements

Entry-level Securities and Compliance Attorneys typically have at least a Juris Doctor degree from an accredited law school and are licensed to practice law in their state.

Prior to graduating, these professionals often gain experience through internships or clerkships in law firms, focusing on securities and compliance, financial regulation, or related fields.

More experienced attorneys usually have 2 to 5 years of post-qualification experience specifically in securities law and financial regulation.

This experience may be gained through working in a law firm, a corporate legal department, or a regulatory agency such as the Securities and Exchange Commission (SEC).

Securities and Compliance Attorneys with over 5 years of experience often have specific expertise in areas such as securities litigation, compliance program development, or regulatory audits and examinations.

They may also have experience managing a team or serving in a leadership role within a law firm or corporate legal department.

Continued legal education in areas like securities law, corporate law, and financial regulation, coupled with practical experience, is highly beneficial for these professionals.

They may also hold certifications like the Certified Compliance & Ethics Professional (CCEP) credential, further highlighting their competence in this specialized field.

 

Securities and Compliance Attorney Education and Training Requirements

Securities and Compliance Attorneys typically have a bachelor’s degree in pre-law, business, finance, or a related field.

Following the completion of their bachelor’s degree, aspiring attorneys must attend law school and earn a Juris Doctor (JD) degree, which typically takes three years.

Coursework usually includes contract law, constitutional law, civil procedure, and legal writing.

In addition, law school students interested in securities and compliance should take courses focusing on securities law, corporate law, and financial regulation.

After earning a JD degree, prospective attorneys must pass the bar examination in the state or states in which they wish to practice.

Passing the bar examination is required to practice law in the United States.

Furthermore, they should consider obtaining the Certified Compliance and Ethics Professional (CCEP) certification, which is offered by the Compliance Certification Board (CCB).

This certification can highlight the attorney’s commitment to the field and may increase employment opportunities.

To stay updated in this ever-evolving field, Securities and Compliance Attorneys should participate in continuing legal education (CLE) programs, often mandated by state bars, which can cover new developments in securities regulation and compliance.

For advancement in their career, many attorneys also opt to earn a Master of Laws (LLM) degree in securities law or a similar specialization.

Relevant experience, such as internships or work in financial firms, law offices, or government agencies, can also be highly beneficial.

 

Securities and Compliance Attorney Salary Expectations

A Securities and Compliance Attorney earns an average salary of $146,754 (USD) per year.

The salary can fluctuate based on factors such as years of experience, level of specialization, geographical location, and the size of the employing firm.

 

Securities and Compliance Attorney Job Description FAQs

What skills are required for a Securities and Compliance Attorney?

Securities and Compliance Attorneys must have an excellent understanding of corporate laws and securities regulations.

They need strong research skills and the ability to interpret complex legal documents.

Excellent communication skills are also required to effectively explain complex legal concepts to non-legal professionals.

They should also possess good negotiation skills and the ability to solve complex problems.

 

Do Securities and Compliance Attorneys need a specific degree?

Yes, Securities and Compliance Attorneys must have a law degree from an accredited law school and should have passed the bar exam in the state where they intend to practice.

A background in finance or business can be beneficial, but it is not mandatory.

 

What should you look for in a Securities and Compliance Attorney’s resume?

When reviewing a Securities and Compliance Attorney’s resume, look for a law degree from a reputed institution and a valid license to practice law.

Experience in securities law, especially in areas relevant to your business, is essential.

Any additional certifications in compliance or securities law would also be advantageous.

 

What qualities make a good Securities and Compliance Attorney?

A good Securities and Compliance Attorney should be detail-oriented and analytical, as they often deal with complex legal regulations and need to ensure compliance.

They should be proactive and able to anticipate potential legal issues before they arise.

Strong communication and interpersonal skills are also important as they often need to work with various teams within the organization.

 

Is it difficult to hire a Securities and Compliance Attorney?

Hiring a Securities and Compliance Attorney can be challenging, given the complexity of the role and the specific knowledge and skills required.

However, with a clear job description, a competitive compensation package, and an understanding of what to look for in a candidate’s qualifications and experience, it is possible to find a suitable candidate for the role.

 

Conclusion

And there you have it.

Today, we’ve shed light on what it truly means to be a securities and compliance attorney.

And guess what?

It’s not just about understanding the laws.

It’s about molding a secure financial future, one rule at a time.

With our handy securities and compliance attorney job description template and real-world examples, you’re ready to make your move.

But why stop there?

Go further with our job description generator. It’s your next step to creating precise job listings or perfecting your resume.

Remember:

Every rule in compliance is a part of the bigger financial landscape.

Let’s shape that future. Together.

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